SEC Inquiries and Investigations

The SEC’s Enforcement Division conducts investigations pursuant to formal Orders of Investigation that authorize the staff of the Enforcement Division to seek the production of relevant information, either in the form of documents or witness tes...
https://www.securitieslawyer101.com/2015/sec-inquiries-investigations/

What is a Private Placement Memorandum?

A private placement memorandum (“PPM”) is also referred to as a confidential offering circular or memorandum.  PPM’s are used by private companies  in going public transactions and by existing public companies to raise capital by selling ...
https://www.securitieslawyer101.com/2014/private-placement-memorandum/

Attorney Indicted After Feds Use Receivership Shell In Sting

Richard Weed ("Weed"), a securities lawyer, was recently indicted on eleven criminal charges by a grand jury in the U.S. District Court for the District of Massachusetts in connection with an alleged pump-and-dump scheme that defrauded investors in...
https://www.securitieslawyer101.com/2014/richard-weed-indicted-reverse-merger/

SEC Comments 101 - Going Public Lawyers

Private companies seeking to go public are often unaware of the SEC comment process.  The SEC comment process applies to registration statements filed by companies who go public using an initial public offering (“IPO”) as well as to compan...
https://www.securitieslawyer101.com/2013/sec-comments-101/

What Disclosures Are Required in Form 10-K ?

Securities Lawyer 101 Blog Form 10-K is a comprehensive annual report filed by SEC reporting companies that details information about the issuer and its operations. Form 10-K is required pursuant to Section 13 or 15(d) of the Securities Exchange A...
https://www.securitieslawyer101.com/2013/form-10-k/

What Are the Prospectus Delivery Requirements? Going Public

Securities Lawyer 101 Blog Under the Securities Act of 1933 as amended (the "Securities Act"), a Company that conducts an initial public offering ("IPO") including in a going public transaction must adequately disclose material information to in...
https://www.securitieslawyer101.com/2014/prospectus-delivery-requirements/

Can I Use Preferred Stock in An EB-5 Offering?

The purpose of the EB-5 Offering Program is to promote the immigration of people who can help create jobs for United States workers through their investment of capital into the United States economy. Immigrants who invest their capital in job-creat...
https://www.securitieslawyer101.com/2014/eb-5-offering-lawyer/